Chapter 35 - Initial Study and Negative Declaration

A Lead Agency is the public agency that has the principal responsibility for carrying out or approving a project. Caltrans is the lead agency for its own projects. Caltrans may also be lead agency for private projects that require Caltrans approval, for example, a private telecommunications company proposing to install equipment within Caltrans’ right-of-way.

A responsible agency is any public agency other than Caltrans that has discretionary approval power over the project. A trustee agency means a state agency having jurisdiction by law over natural resources affected by a project that are held in trust for the people of the State of California. Trustee agencies include:

1. The California Department of Fish and Wildlife with regard to the fish and wildlife of the state, to designated rare or endangered native plants, and to game refuges, ecological reserves, and other areas administered by the department;
2. The State Lands Commission with regard to state owned "sovereign" lands such as the beds of navigable waters and state school lands;
3. The State Department of Parks and Recreation with regard to units of the State Park System;
4. The University of California with regard to sites within the Natural Land and Water Reserves System.

Common examples of responsible agencies include: the Regional Water Quality Control Board for its Section 401 Water Quality Certification, the California Department of Fish and Wildlife for its Section 1602 Lake or Streambed Alternation Agreement, and the Office of Historic Preservation for its concurrence on affected cultural resources.

Caltrans can also be a responsible agency for non-Caltrans projects that impact Caltrans’ facilities, for example, where a city will need to obtain an encroachment permit for conducting work within Caltrans’ right-of-way.

Responsible agencies must actively participate in the lead agency’s CEQA process and consider the lead agency’s environmental document prior to acting upon or approving the project. The responsible agency must certify that it reviewed and considered the information contained in the lead agency’s CEQA document. The responsible agency must also prepare and issue its own findings regarding the project.

Generally, a responsible agency must accept the lead agency’s environmental document as legally adequate. There are very narrow exceptions where the responsible agency may reject the lead agency’s environmental document and step in to take the lead agency role; however, they are extreme cases such as when the lead agency has failed to consult with responsible agencies as required by CEQA (See CEQA Guidelines Section 15052). Therefore, responsible agencies must participate early and actively in the lead agency’s CEQA process to ensure its concerns are met.

The Project Description performs as a type of road map providing information which characterizes the project’s goals and objectives. It’s intended to describe the project providing sufficient detail to set forth the baseline of information for use as a foundation in analyzing the specific media components later in the document. The project description should describe the project’s activities, identify and discuss any jurisdictional issues relating to project commencement such as the acquisition of applicable permits, project duration, location and a listing of related environmental review and consultation requirements mandated by federal, state or local laws, regulations or policies [CCR Title 14, Section 15124]. Additionally, the project description should include an attachment of site, regional and vicinity maps to give the reader a sense of geographical location respecting the project site and its surroundings.

The lead agency must undertake a reasonable investigation of potential impacts when it prepares an Initial Study. The Initial Study checklist must be completed, and each answer must include a fact-based explanation. The discussion will normally include the following information:

• Description of the affected resource.
• Technical report(s) on which the information is based.
• Statutory or regulatory standards for evaluating level or severity of impacts.
• Criteria of impact evaluation where no statutory or regulatory standard is established.
• Any consultation or regulatory reviews undertaken and their outcome.

For each resource, the Initial Study must address a number of impact types:

• long-term impacts (the project and its operation)
• short-term construction-related impacts
• direct and indirect impacts
• cumulative impacts 

If the Initial Study determines that there will be no significant direct or indirect impact on the environment, prepare a Negative Declaration.

If the Initial Study determines that the proposed action, with the incorporation of identified mitigation measures, will not have a significant effect on the environment, prepare a Mitigated Negative Declaration.

If the Initial Study concludes that there may be significant direct or indirect impact on the environment, after mitigation, an Environmental Impact Report is required.

For more specific discussion and guidance on assessing potential impacts of a proposed project, consult specific environmental resource chapters (Chapters 7 through 28) on the SER.

When significant environmental effects are identified, the Lead Agency will propose feasible mitigation measures to address each adverse effect. Under CEQA, mitigation measures may include the following:

• Avoid
• Minimize
• Rectify (repair, rehabilitate, or restore)
• Reduce or eliminate the impact over time by preservation and maintenance during the life of the action
• Compensate, replace, create.

For additional information, see the Mitigation under CEQA guidance.

As noted above, under “Environmental Effects,” a public agency (the Caltrans District environmental office) will prepare a Negative Declaration (ND) when:

• The Initial Study shows that there is no substantial evidence, in light of the whole record before the agency, that the project may have a significant effect on the environment.

Or a Mitigated Negative Declaration (MND) when,

• The initial study identifies potentially significant effects but:
  • Revisions in the project plans or proposals made by, or agreed to by the applicant before a proposed mitigated negative declaration and initial study are released for public review would avoid the effects or mitigate the effects to a point where clearly no significant effects would occur; and,
  • There is no substantial evidence, in light of the whole record before the agency, that the project as revised may have a significant effect on the environment.

When adopting an MND, the Caltrans District Office adopts a reporting or monitoring program for the changes made to the project. The reporting or monitoring program is designed to ensure compliance during project implementation.

A tool that is available to ensure that environmental commitments are fulfilled in the post-PA&ED phase is the PS&E Tool. The SER provides guidance (with examples) on the Environmental Commitment Record.

Circulation of "Draft" Initial Study

When the “draft” Initial Study is complete, it must be circulated for public review. Before the “draft” Initial Study can be circulated, the Draft Project Report (or equivalent design report) must be approved. This is to ensure that the project concept in the draft environmental document is consistent with the draft design report. The public is informed of the review period with a Notice of Intent (see next section).

The Office of Planning and Research, State Clearinghouse review of a Negative Declaration (ND) or Mitigated Negative Declaration (MND) with accompanying Initial Study is required when a state agency such as Caltrans is the Lead Agency, a Responsible Agency, a Trustee Agency, or otherwise has jurisdiction by law over a project.

When Caltrans approves a proposed ND or MND and Initial Study for public circulation, the draft document, Notice of Completion (NOC), Notice of Intent (NOI), and OPR Summary Form are submitted to the State Clearinghouse via CEQA Submit. Please see the State Clearinghouse CEQA Document Submission website for full instructions, forms, and a link to the CEQA Submit Database.  The NOC, NOI, and draft document must also be posted on the appropriate Caltrans district/project website.

When a “draft” Initial Study is submitted to the State Clearinghouse for distribution, the State Clearinghouse will assign a SCH number to the document. All future correspondence with the State Clearinghouse should reference this number.

When a proposed ND or MND have been submitted to the State Clearinghouse, the review period is not less than 30 calendar days. 

Caltrans must provide a NOI to adopt an ND or MND to the public, responsible agencies, trustee agencies, and the county clerk of each county in which the proposed project is located, sufficiently prior to adoption by the lead agency of the ND or MND to allow the public and agencies the 30 day review period.

For a project of statewide, regional, or areawide significance, the lead agency shall also provide notice to transportation planning agencies and public agencies which have transportation facilities within their jurisdictions which could be affected by the project. "Transportation facilities" includes: major local arterials and public transit within five miles of the project site, and freeways, highways and rail transit service within 10 miles of the project site. Lead agencies should also consult with public transit agencies with facilities within one-half mile of the proposed project.

Caltrans must mail the NOI to the last known name and address of all organizations and individuals who have previously requested such notice in writing and must also provide an NOI through at least one of the following procedures to allow the public a 30 calendar day review period:

1. Publication at least one time in a newspaper of general circulation in the area affected by the proposed project. If more than one area is affected, the notice must be published in the newspaper of largest circulation from among the newspapers of general circulation in those areas.
2. Posting of notice on and off site in the area where the project is to be located.
3. Direct mailing to the owners and occupants of contiguous property shown on the latest equalized assessment roll.

Public hearings are encouraged, but not required as an element of the IS/ND process. However, the Project Development Procedures Manual (PDPM) requires a public hearing for any projects that:

1. Require significant right of way
2. Require substantial changes to the layout, or to the function of connecting roadways, or facility being improved,
3. Have a significant adverse impact on abutting real property, or
4. Have a significant environmental, economic, social, or other effect.

A "Notice of Opportunity" for a public hearing may be used to satisfy the requirement for a hearing if the project is non-controversial and a hearing request is unlikely. This can be determined by analysis of comments received from the public or local agencies or through prior contacts and information meetings.

Chapter 11, Article 7 of the PDPM includes a discussion of how to plan, prepare and conduct a public hearing.  

Notice of the public hearing must be published in English in a newspaper having a general circulation in the vicinity of the proposed project, as well as in any foreign language and community newspapers with a substantial circulation in the area. Each notice must be published in a prominent location in the newspaper other than in the legal notices section and be published twice before the public hearing.  The notice must also be posted on the appropriate Caltrans district/project website.

For additional information, see the Quick Guide to Public Noticing and Filing Requirements under CEQA and NEPA.

Revisions to "Draft" Initial Study

After public circulation, revisions to the body of the “draft” IS will be made only when substantive comments bring to light new information not covered or when it is necessary to correct the text. A log of the comments and the responses to them is prepared to facilitate the review. The State Clearinghouse number shall be added to the upper right corner of the ND or MND. The ND or MND will be signed and placed in the front of the document (after the title sheet).

• Environmental Commitments/Mitigation Measures. Each “final” IS must include, as an added separate section, a summary of all avoidance, minimization, and/or mitigation measures, including prescribed environmentally sensitive areas (ESA), and any other conditions for which there is a commitment in previous sections of the document.
• Public Participation. A brief summary of the review process including public information meeting(s) and/or public hearing (if held) shall be added to the IS. This summary, as well as copies of the comments and responses on the “draft” IS, are added to the Comments and Coordination section of the document.
• Wetlands or Floodplain. If the proposed project is a federal action and is located in wetlands and/or encroaches on a floodplain, a Wetlands Only Practicable Alternative Finding and/or a Floodplain Only Practicable Alternative Finding must be added to the “final” IS.
• Section 106. If the proposed project is a federal action and involves cultural resources, the revised IS shall include discussion as to the final disposition of Section 106 matters. For findings of No Historic Properties Affected or No Adverse Effect, the Section 106 Programmatic Agreement may be used to streamline the coordination process. For projects with a Finding of Adverse Effect, a copy of the executed memorandum of agreement prepared to resolve those effects must be included.
• See the appropriate annotated outline for additional guidance.

QA/QC Review of Final Initial Study

Circulation Requirements for ND or MND

The “final” IS with a signed ND or MND is referred to as an ND or MND and completes the process for an IS. CEQA does not require public circulation of the ND or MND. It is encouraged, however, for agencies, organizations and individuals that commented on the “draft” IS to be supplied with a copy of the with ND or MND (or location where it can be obtained) and be informed of the disposition of their comments.

For projects requiring action by the California Transportation Commission (CTC) - i.e., approval of funds and/or new public road connection and/or route adoption - a submittal package must be sent to the Division of Environmental Analysis for forwarding to the CTC. Click here for the CTC submittal instructions.